Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

You are viewing the version of the document as on 2024-10-03.

senior management

  1. 120[Note: article 4.1(37) of MiFID]180
    1. (1) [deleted]209
    2. (2) (in SYSC (except SYSC 4.3A)161 209and in accordance with article 4(1)(10) of the UK CRR180) those persons who are a natural person and who exercise executive functions in an institution and who are responsible and accountable to the management body for the day-to-day management of the institution.
    3. (3) (in SYSC 4.3A and COBS 2.3B180) those persons who are a natural person, who exercise executive functions in common platform firms and who are responsible and accountable to the management body for the day-to-day management of the firm, including for the implementation of the policies concerning the distribution of services and products to clients by it and its personnel.161
    4. (4) (in MIFIDPRU) those natural persons who exercise executive functions in MIFIDPRU investment firms and who are responsible and accountable to the management body for the day-to-day management of the firm, including for the implementation of the policies concerning the distribution of services and products to clients by it and its personnel.209
    5. 220(5) (in MAR 9) those natural persons who exercise executive functions within an investment firm, a market operator or a data reporting services provider, and who are responsible and accountable to the management body for the day-to-day management of the entity, including for the implementation of policies concerning the distribution of services and products to clients by the firm and its personnel.
    [Note: article 4.1(37) of MiFID]180